Manager, Disciplinary Unit Head-Monitoring & Enforcement

Aug 17, 2018

Report to: Head, Listing Regulation Department Division: Regulation Department: Office of the DH-Regulation Grade: Assistant Manager – Manager Estimated Date Of Resumption: Monday, September 24, 2018 Job Summary

The Exchange needs a consummate legal professional with a strong personality, good people management skills, and the ability to work as a team player to support its Disciplinary process. This individual will work out of the office of the Head, Regulation.
The individual would be required to have a thorough understanding of The Exchange’s policies, overall mission and strategy, as well as a strong legal background, including stellar academic credentials.

Key Responsibilities

Drafting, reviewing and advising in a qualitative manner documentation of all types relating to Disciplinary matters within agreed timeframes
Providing enterprise wide legal support to all structures involved in the Disciplinary process
Providing legal opinions and advice as requested for the purposes of the Disciplinary process. Providing legal advisory services to the Council and Council Committees in connection with the Disciplinary process
Working with other business departments to manage The Exchange’s disciplinary process for its Dealing Members and listed companies. Managing The Exchange’s Disciplinary Process to be in line with best practice and international standards. Attending meetings with third parties and stakeholders regarding The Exchange’s Disciplinary Process
In conducting disciplinary matters, pay attention to minimizing the exposure of The Exchange to legal liabilities. Working on the procedures, practices, rules and regulations relating to the Disciplinary process with a view to enhancing them and making them more robust
Participating as representative of the Disciplinary function in Committees and Projects across the enterprise
Supporting the business in finding creative ways to meet its SRO enforcement objectives
Ensuring KPIs are met
Ensuring cost effective service provision for all services rendered

Qualifications And Experience

Minimum of 2:1 in University. Masters’ Degree in Law.
Knowledge of Administrative Review and Regulatory Oversight matters.

Functional Competencies:

Analytical Thinking
Project Management

Behavioural Competencies:

Adaptability
Attention to Detail
Emotional Intelligence

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